NeuroPace Inc — Director's Dealing 2021

Apr 20, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: NeuroPace Inc (NPCE)
CIK: 0001528287
Period of Report: 2021-04-20

Reporting Person: Garfield Greg Shaw (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	25618	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A' Preferred Stock	$0.00		Common Stock (324450)		Indirect
Series B' Preferred Stock	$0.00		Common Stock (5289934)		Indirect

Footnotes

F1: KCK Ltd. has sole voting and investment power with respect to the shares. The board of directors of KCK Ltd., consisting of Antoine Sacy, Kamal Kassar, and Nael Karim Kassar, has delegated its authority to vote or invest the shares to Nael Karim Kassar. As such, Nael Karim Kassar may also be deemed to have sole voting and investment with respect to the shares. Mr. Kassar and Greg Garfield, who serves as Senior Managing Director with KCK-US, Inc., an affiliate of KCK Ltd., are also members of our board of directors.

F2: Each share of Preferred Stock automatically converts on a 1-for-1 basis into Common Stock at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering, for no additional consideration. The Preferred Stock has no expiration date.

F3: Includes 859 shares of Series A' Preferred Stock held by the Greg and Dori Garfield Living Revocable Trust.

F4: Includes 323,591 shares of Series A' Preferred Stock held by KCK Ltd. who has sole voting and investment power with respect to the shares. The board of directors of KCK Ltd., consisting of Antoine Sacy, Kamal Kassar, and Nael Karim Kassar, has delegated its authority to vote or invest the shares to Nael Karim Kassar. As such, Nael Karim Kassar may also be deemed to have sole voting and investment with respect to the shares. Mr. Kassar and Greg Garfield, who serves as Senior Managing Director with KCK-US, Inc., an affiliate of KCK Ltd., are also members of our board of directors.

F5: Includes 5,271,902 shares of Series B' Preferred Stock held by KCK Ltd. who has sole voting and investment power with respect to the shares. The board of directors of KCK Ltd., consisting of Antoine Sacy, Kamal Kassar, and Nael Karim Kassar, has delegated its authority to vote or invest the shares to Nael Karim Kassar. As such, Nael Karim Kassar may also be deemed to have sole voting and investment with respect to the shares. Mr. Kassar and Greg Garfield, who serves as Senior Managing Director with KCK-US, Inc., an affiliate of KCK Ltd., are also members of our board of directors.

F6: Includes 18,032 shares of Series B' Preferred Stock held by the Greg and Dori Garfield Living Revocable Trust.